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Results: 1-10 of 1,111

The Senior Managers Regime Approaches: A Crammer's Guide to Implementation
  • Baker & McKenzie
  • United Kingdom
  • January 18 2016

The New Year heralds the introduction of the Senior Managers Regime ("SMR") for banks, building societies and large investment firms. The SMR


FCA’s Senior Managers Rules and Whistleblowing
  • Corker Binning
  • United Kingdom
  • December 10 2015

Following recommendations in 2013 by the Parliamentary Commission on Banking Standards (PCBS), and in an attempt to strengthen internal procedures


Worthing and Worthing v Lloyds Bank Plc 2015 - Worth the wait?
  • Clyde & Co LLP
  • United Kingdom
  • December 10 2015

This recent High Court decision considers the extent of the duties of care placed on financial advisers, which will apply to other professionals


This week at the UK regulators - 8 December 2015
  • Clifford Chance LLP
  • United Kingdom
  • December 8 2015

Last week saw relatively little enforcement activity at the UK regulators. Of particular note was Tracey McDermott's speech on personal


FCA seeks views on its approach to small businesses
  • Eversheds LLP
  • United Kingdom
  • December 4 2015

The FCA has published a discussion paper entitled "Our approach to SMEs as users of financial services". This paper explores whether the current


How to survive a regulatory interview
  • Berwin Leighton Paisner LLP
  • United Kingdom
  • November 4 2015

Daunting, pressurised and time-consuming are just some of the words that are used to describe regulatory interviews. After spending a year working on


50 predictions: directors' & officers' financial institutions
  • DAC Beachcroft LLP
  • United Kingdom
  • September 7 2015

US-style class actions have not yet reached Europe, although steps are being taken to make it easier to bring collective actions in several member


FCA announces that its CEO is stepping down
  • Cooley LLP
  • United Kingdom
  • July 17 2015

Martin Wheatley, the CEO of the UK's Financial Conduct Authority, is to step down on 12 September 2015. He will remain as an advisor to the FCA's


PRA and FCA proposals on individual accountability and remuneration
  • Cleary Gottlieb Steen & Hamilton LLP
  • United Kingdom
  • March 27 2015

The willingness of financial regulators to get tough with individuals has never been greater. The financial crisis and high profile cases of


Embedding accountability within the financial services sector
  • Taylor Wessing
  • United Kingdom
  • January 28 2015

While commending companies and signatories for improvements made during 2014, the FRC is sending out a strong message that it intends to stamp out